Compliance Officer

7 days ago

Cape Town, South Africa Carrick Wealth Full time

Job Title: Compliance Officer Reports to: Head of Compliance Location: Cape Town Job Activity Assist the Head Compliance Officer in establishing and maintaining a robust compliance function within the risk management framework of the business according to key regulations. Formulate, adapt, initiate, maintain, and implement policies and procedures on various key regulations as required. Drafting, maintaining, and enhancing Compliance Risk Monitoring Plans (“CRMPs”) and determining the amount, frequency, and type of monitoring needed to satisfy the CRMPs. Incorporating new legislation into the existing structure. Monitoring compliance and adherence with rules, regulations, policies, procedures, and limits and recommendations for any enhancements. Act as an independent reviewer to identify areas of potential compliance, vulnerability, and risk and to develop or implement corrective action plans for resolution and proactively find business solutions as required. Development and maintenance of systems and tools to support the compliance function. Attend to Compliance Static Data Management. Ensure regulatory and compliance deadlines are met. Assist the Head Compliance Officer when liaising with regulators. Assist the Head Compliance Officer with rolling out training to employees on compliance and new legislation. Ad hoc tasks as required. Qualification and experience This role is a mid‑level role and requires compliance experience in the asset management/private wealth/financial services industry. B Com (Law)/LLB or equivalent FSCA‑recognised qualification (Advantageous) FSCA RE Exams re5 essential and re1 would be advantageous Capable of registration as a FAIS Compliance Officer 2‑5 years compliance‑related experience in the financial services industry Exposure to CAT I and CAT II FSPs’ businesses (advantageous) Member of the Compliance Institute of Southern Africa would be advantageous Knowledge and skills Working knowledge and application experience of Key Acts: FAIS (essential), FICA (essential) (Advantageous) supplementary experience: AML, FATCA, POPIA Strong Computer literacy skills in MS Office Excellent numeracy skills Technical understanding of financial products and instruments (Advantageous) Research and due diligence skills, Strong, proven analytical and logical thinking skills, and excellent communication skills (verbal and written) and report writing skills System automation skills (Innovative ideas on the possibility to automate processes/procedures) Ability to understand broader business issues, to apply holistic insight and acumen in the integration of processes Competency in the following The incumbent needs to be assertive, self‑motivated, and have the ability to work independently A mastery of time management, prioritising, accountability and planning is key in this role Strong administrative and organisational skills with acute awareness and appreciation of accuracy, detail, demands, and deadlines Pro‑active and a lateral thinker with a solutions‑based approach when interpreting regulations Ability to learn quickly, think outside the box, and be adaptable #J-18808-Ljbffr

  • Compliance Officer

    2 weeks ago

    Cape Town, South Africa The Legends Agency Full time

    Compliance Officer Join a Nurse-Led, Top-Rated Healthcare Staffing Agency No Two Days the Same Office-based in Gardens, Cape Town | R20,000 per month | UK Hours (Mon-Fri, 9am-5pm) About Our Client Our client is a dynamic, nurse-led healthcare recruitment agency providing outstanding nurses and healthcare assistants to Northern Ireland's HSC Trusts and...

  • Compliance Officer

    1 week ago

    Cape Town, Western Cape, South Africa FROGG Recruitment Full time

    Compliance Officer Cape Town, South AfricaOur client, a reputable law firm, is seeking an experienced Compliance Officer. The successful candidate must have a proven track record of compliance experience specifically within alaw firmenvironment. This individual will utilise their legal expertise to ensure the firm complies with all relevant legal standards...

  • Compliance Officer

    2 weeks ago

    Cape Town, South Africa Socian Full time

    Compliance officer **Responsibilities**: Implement and manage an effective legal compliance program. Develop and review company policies. Advise management on the company’s compliance with laws and regulations through detailed reports. Create and manage effective action plans in response to audit discoveries and compliance violations. Regularly audit...

  • Compliance Officer

    2 weeks ago

    Cape Town, South Africa Tracking Talent Full time

    A local Investment Company is seeking a FICA and FAIS Compliance Officer to join their Fund Due Diligence Team. This company is a small, yet well-established firm located in the Northern Suburbs of Cape Town. This position is well suited to someone with high energy levels, independence, and with a sincere enthusiasm for compliance. **Qualifications &...

  • Compliance Officer

    2 weeks ago

    Cape Town, Western Cape, South Africa The Legends Agency Full time R240 000 - R480 000 per year

    Compliance Officer Join a Nurse-Led, Top-Rated Healthcare Staffing Agency No Two Days the Same Office-based in Gardens, Cape Town | R20,000 per month | UK Hours (Mon-Fri, 9am-5pm) About Our Client Our client is a dynamic, nurse-led healthcare recruitment agency providing outstanding nurses and healthcare assistants to Northern Ireland's HSC Trusts and...

  • Compliance Officer

    1 week ago

    Cape Town, Western Cape, South Africa Black Pen Recruitment Full time

    Our client who is in the Wealth Finance industry is seeking a Compliance Officer to join their team to oversee the Group Compliance requirements implementing and monitoring procedures. Do you have your RE5 and RE1? In this role, you are to ensure that the organization adheres to all relevant regulations, laws, and industry standards. You will develop,...

  • Compliance Officer

    4 weeks ago

    Cape Town, South Africa Frank Consult Full time

    A well-established fiduciary and corporate services organisation is seeking a diligent and experienced Compliance Officer to join their Cape Town office. The successful individual will play a pivotal role in ensuring that both local and global operations adhere to legal, regulatory and internal governance standards.Key Responsibilities• Lead and manage the...

  • Compliance Officer

    1 week ago

    Cape Town, South Africa Black Pen Recruitment Full time

    Our client who is in the Wealth Finance industry is seeking a Compliance Officer to join their team to oversee the Group Compliance requirements implementing and monitoring procedures. Do you have your RE5 and RE1? In this role, you are to ensure that the organization adheres to all relevant regulations, laws, and industry standards. You will develop,...

  • Compliance Officer

    3 weeks ago

    Cape Town, South Africa CA Financial Appointments Full time

    Are you wanting to start your career in Compliance? If so, this is an amazing opportunity to get trained up in a 3 year programme whilst working for my client on a full time basis. The client is a boutique Wealth team where you are not just a number. If this is you, please apply!Why join this team?Join a small, client-focused asset management firmSupportive...

  • Compliance Officer

    4 weeks ago

    Cape Town, South Africa Frank Consult Full time

    A well-established fiduciary and corporate services organisation is seeking a diligent and experienced Compliance Officer to join their Cape Town office. The successful individual will play a pivotal role in ensuring that both local and global operations adhere to legal, regulatory and internal governance standards. Key Responsibilities • Lead and manage...